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RETIREMENT PLANNING FEB 16, 2010
Recovery spells extra credits for advisers needing training

Reflecting the rebounding economy, financial advisers are attending more conferences and taking more courses for continuing-education credits.

RIAS FEB 16, 2010
Fiduciary setback: Your greatest marketing opportunity ever?

The failure of Congress to strip the fiduciary exemption from broker-dealers may turn out to to be the greatest marketing opportunity ever for financial advisers

Advisers on the advisory biz: Full speed ahead this year
PRACTICE MANAGEMENT FEB 16, 2010
Advisers on the advisory biz: Full speed ahead this year

Following the tumult of 2009, advisers see better days ahead for their practices this year--with the majority of advisers now focused on growing their businesses again.

Defining platinum-level services
OPINION FEB 16, 2010
Defining platinum-level services

You too can set your practice apart from the competition by identifying and promoting your platinum services.

The estate tax crisis must be confronted
RETIREMENT PLANNING FEB 16, 2010
The estate tax crisis must be confronted

The failure of Congress to plug the 2010 estate tax loophole has created considerable uncertainty.

RETIREMENT PLANNING FEB 16, 2010
Estate tax expiration gives rise to opportunities — and heart-wrenching decisions

With the estate tax laws set to expire by year-end — and no clear indication when Congress will address the issue — some financial advisers and attorneys see an opportunity for their high-net-worth clients in this extremely muddled situation.

PRACTICE MANAGEMENT FEB 12, 2010
Finra: We'll lower the boom on shady private placements

Finra expects to bring cases against brokerage firms involved in selling private placement offerings next year, its head of enforcement said today.

PRACTICE MANAGEMENT FEB 11, 2010
What financial advisers can learn from Toyota's PR nightmare

PRACTICE MANAGEMENT FEB 11, 2010
Credit Suisse to pay $536M to settle Iran wire transfer case

Credit Suisse Group has agreed to pay $536 million to settle a Justice Department probe and admit to violating U.S. economic sanctions by hiding the booming illegal business it was doing for Iranian banks.

PRACTICE MANAGEMENT FEB 10, 2010
Advisers adopt "clean-desk policy' to limit compliance concerns

PRACTICE MANAGEMENT FEB 10, 2010
When leaving a firm, don't slam the door

When Charles Miller decided to leave the financial advisory profession to head an international non-profit heart foundation, he spent six weeks convincing his clients to stay with his former advisory firm.

PRACTICE MANAGEMENT FEB 10, 2010
Finra fines Calif. broker-dealer $750K over sale of Reg D offerings

PRACTICE MANAGEMENT FEB 10, 2010
Fantasy football at work? Managers must set ground rules

Fidelity's recent decision to fire four employees for playing fantasy football on the job highlights an issue — Internet usage at work — that advisers are paying closer attention to these days.

PRACTICE MANAGEMENT FEB 10, 2010
What's in a financial advisory firm's name?

Paul Baumbach had pet mallard ducks as a kid, so when it came time to name his own financial services firm, he dubbed it Mallard Advisors LLC.

PRACTICE MANAGEMENT FEB 09, 2010
SEC names di Florio head of compliance

A partner in big accounting firm PricewaterhouseCoopers has been named to head a key division of the Securities and Exchange Commission blamed for contributing to the breakdown that allowed Bernard Madoff's multibillion-dollar fraud to go undetected for 16 years.

FINTECH FEB 08, 2010
Security breach reported by Internet trading site collective2.com

Users of the do-it-yourself trading site collective2.com received an “urgent” e-mail at a few minutes past noon Wednesday notifying them that the company's computer database had been breached by a hacker and that all users should log in to change their passwords immediately.

FINTECH FEB 08, 2010
Report: Hackers made big score at Citi

The FBI is investigating a hacker attack on Citigroup Inc. that led to the theft of tens of millions of dollars, The Wall Street Journal reported Tuesday.

PRACTICE MANAGEMENT FEB 07, 2010
New SEC rule prompts advisers to rethink acting as trustees

Investment advisory firms that act as trustees and have some form of asset custody are weighing whether to continue offering the services in light of new SEC rules that include mandated surprise audits and go into effect March 12.

RETIREMENT PLANNING FEB 07, 2010
Help make breaking up easier

The benefits that financial advisers provide to a client going through a divorce start when that client first informs you of the wedding plans.

RETIREMENT PLANNING FEB 07, 2010
Advisers go it alone on personal finances

Like many financial advisers, Rick Kahler struggled for years over whether to hire a peer to review his personal financial plan.